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State Determination
U.S. Department of Education (USDE) Documents
U.S. Department of Education Review and §616 Determination
Criteria For States
Section 616(d) of the IDEA
requires the U.S. Department of Education Office of Special Education Programs
(USDE/OSEP) to review each state’s APR
annually. Based on the information provided in the State’s APR, information
obtained through monitoring visits, and any other public information, the USDE/OSEP
will determine if the State:
Determination Levels
Meets Requirements
Factors the Department will consider in determining whether a State meets the
requirements and the purposes of IDEA, include the following:
- The State demonstrates substantial compliance on all compliance indicators,
which can include, as appropriate, a demonstration through quantitative and
qualitative data that the State timely corrects identified noncompliance for
indicators that are not ‘new’ or where noncompliance was previously
identified by the Department, and, for ‘new’ indicators for which
noncompliance was not previously identified by the Department, that the State
has improvement activities to timely correct identified noncompliance.
- All indicators, including performance indicators, have valid and reliable
data as required by the SPP/APR (actual target data, baseline data, etc.).
- The State demonstrates that it timely corrects noncompliance identified
by the Department through monitoring or other means.
Needs Assistance
Factors the Department will consider in determining whether a State needs assistance
in implementing the requirements of IDEA include the following:
- The State does not demonstrate substantial compliance on one or more
of the compliance indicators. Evidence related to substantial compliance can
include, as appropriate, a demonstration through quantitative and qualitative
data that the State timely corrects identified noncompliance for indicators
that are not ‘new’ or where noncompliance was previously identified
by the Department, and, for ‘new’ indicators for which noncompliance
was not previously identified by the Department, that the State has improvement
activities to timely correct identified noncompliance.
- One or more indicators, including performance indicators, do not have
valid and reliable data as required by the SPP/APR (actual target data, baseline
data, etc.).
- The State does not demonstrate that it timely corrects any noncompliance
identified by the Department through monitoring or other means.
If the Department determines, for 2 consecutive years, that the
State needs assistance, the Department shall take one or more of the following
enforcement actions, consistent with section 616(e)(1):
- Advise the State of available sources of technical assistance.
- Direct the use of State-level funds under section 611(e) on area(s)
in which the State needs assistance.
- Identify the State as a high-risk grantee and impose special conditions
on the State’s grant.
Needs Intervention
Factors the Department will consider in determining whether a State needs intervention
in implementing the requirements of IDEA include the following:
- The State does not demonstrate substantial compliance on one or more
of the compliance indicators and has not made significant progress in correcting
noncompliance previously identified by the Department on those indicators. Evidence
related to substantial compliance can include, as appropriate, a demonstration
through quantitative and qualitative data that the State timely corrects identified
noncompliance for indicators that are not ‘new’ or where noncompliance
was previously identified by the Department, and, for ‘new’ indicators
for which noncompliance was not previously identified by the Department, that
the State has improvement activities to timely correct identified noncompliance.
- One or more indicators, including performance indicators, are missing
valid and reliable data as required by the SPP/APR (actual target data, baseline
data, etc.), and the State has not made significant progress in correcting previously
identified data problems.
- The State does not demonstrate that it corrects noncompliance identified
by the Department through monitoring or other means, and has not made significant
progress in correcting that noncompliance.
If, the Department determines, for 3 consecutive years that the
State needs intervention, the Department may take any of the actions described
under needs assistance and shall take one or more of the following enforcement
actions, consistent with section 616(e)(2):
- Require the State to prepare a corrective action plan or improvement
plan, if the Department determines that the State should be able to correct
the problem within 1 year.
- Require the State to enter into a compliance agreement, if the Department
has reason to believe that the State cannot correct the problem within 1 year.
- Withhold a percentage of the State’s funds under section 611(e),
for each year of the determination.
- Seek to recover funds.
- Withhold any further payments to the State.
- Refer the matter for appropriate enforcement action.
Needs Substantial Intervention
If the Department determines, at any time, that a State needs substantial intervention
in implementing the requirements of this part or that there is a substantial
failure to comply with any condition of a State educational agency’s,
lead agency’s, or local educational agency’s eligibility under this
part, the Department will designate the State as in need of substantial intervention.
Among the factors that the Department will consider are:
- The failure to substantially comply significantly affects the core requirements
of the program, such as the delivery of services to children with disabilities
or State exercise of general supervision; and/or
- The State has informed the Department that it is unwilling to comply.
If the Department determines, at any time, that the State needs
substantial intervention, the Department shall take one or more of the following
enforcement actions, consistent with section 616(e)(3) and provide an opportunity
for a hearing:
- Recover funds.
- Withhold any further payments to the State.
- Refer the case to the Office of the Inspector General.
- Refer the matter for appropriate enforcement action.